Law school legends audio on securities regulation / Therese H. Maynard.
St. Paul, MN : Gilbert Law Summaries, 
[St. Paul, Minnesota] : West Academic Publishing, 
1 sound file (9 hours) : digital.
Law school legends series. Study aids (West Academic Publishing)
Formatted Contents Note
Introduction Modern Financial Markets Securities Markets Federal Securities Laws Role of the SEC Forces of Change at Work in Today's Securities Markets Definition of "Security"-Scope of Statutory Definition of Security The Howey Test Role of the "Context Clause" Sale of Business Doctrine Promissory Notes LLC as Security Public Offerings and the Registration Process under [section] 5 of the 1933 Act - The Modern Underwriting Process Overview of the Regulating Framework of [section] 5 of the 1933 Act Jurisdictional Underpinnings of the 1933 Act Pre-Filing Period Waiting Period Post-Effective Period Preparing the Registration Statement and the SEC's System of Integrated Disclosure Shelf Registration Procedures SEC's New Public Offering Reform Rules-Introduction Reforms that Apply to All Issuers Reforms that Apply to Communications Made in the IPO Context, Changes to Prospectus Delivery Obligations Changes to Scope of Civil Liability Under the 1933 Act Reforms that Apply to Public Offerings by Well-known Seasoned Issuers Reforms that Apply to Public Companies Other than WKSIs Off-shore Public Offerings SEC's Disclosure Policy and Theorites of Materality-Line Item Disclosure and the Concept of Materiality Issuer's Exemptions from [section] 5 Registration Obligation-Distinguish two types of exemptions set forth in the 1933 Act, Section 3(a)(11) Section 4(2) Scope of Regulation D Rule 506 Safe Harbor for Private Placements The Limited Offering Exemptions Other [section] 3(b) Exemptions [Section] 4(6) Resales of Securities by Non-Issuers-General Background Selling for an Issuer in Connection with a Distribution Purchasing Securities from an Issuer With a View to Distribution Scope of Protection Offered by Rule 144 Express Civil Liability Provisions of the 1933 Act Introduction, Fraud Remedy, Recission Remedy.
Includes link to written lecture outline under "View audio outline".
Source of Description
Description based on publisher's description page, viewed February 8, 2017.
Full text available with subscription to Study Aids package.